Joseph H. Cater
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Joseph Houston Cater, who also goes by Joe Cater, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1989. Joseph had worked at 18 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 2024 - July 13, 2026
FROST INVESTMENT SERVICES
July 2, 2024 - July 13, 2026
FROST BROKERAGE SERVICES, INC.
September 22, 2022 - June 18, 2024
VICTORY CAPITAL MANAGEMENT INC.
September 21, 2022 - June 18, 2024
VICTORY CAPITAL SERVICES, INC.
June 16, 2022 - September 12, 2022
CHARLES SCHWAB & CO., INC.
June 16, 2022 - September 12, 2022
CHARLES SCHWAB & CO., INC.
February 22, 2022 - September 12, 2022
TD AMERITRADE, INC.
February 22, 2022 - September 12, 2022
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 22, 2022 - September 12, 2022
TD AMERITRADE, INC.
March 9, 2020 - January 3, 2022
CUSO FINANCIAL SERVICES, L.P.
March 9, 2020 - January 3, 2022
CUSO FINANCIAL SERVICES, L.P.
November 19, 2015 - March 12, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
November 11, 2015 - March 12, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 21, 2014 - November 10, 2015
CETERA INVESTMENT ADVISERS LLC
August 16, 2005 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
August 16, 2005 - November 10, 2015
CETERA INVESTMENT SERVICES LLC
February 6, 2004 - October 21, 2005
SECURITY SERVICE CUSO, L.L.C.
November 21, 2002 - August 17, 2005
FISERV INVESTOR SERVICES, INC.
October 2, 2000 - October 22, 2002
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 2, 2000 - October 22, 2002
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 4, 1997 - September 14, 2000
CITICORP INVESTMENT SERVICES
August 13, 1991 - August 8, 1996
MORGAN STANLEY DW INC.
July 18, 1989 - March 29, 1990
J. W. GANT & ASSOCIATES, INC.
Primary Firm SEC Registration
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
Contact information
SEC notice filing (28 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,179 |
| AUM (Assets Under Management) | $ 2,976,654,932 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/12/2025 | ||
| 10/10/2024 | ||
| 11/27/2023 | ||
| 12/21/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
